Check Out RegisteredRep.com's Newly Revamped Advisor Forums  

Mar 2, 2010

Want to “socialize” with other financial advisors? Discuss how to sell your book? Have a question about marketing yourself to high-net-worth investors? These and many more topics are being discussed right now on RegisteredRep.com’s Advisor Forums.For more, please go to AdvisorForums ...

Clients, The New Breakaways 

Feb 23, 2010,

By Halah Touryalai

First, there was the breakaway broker phenomenon; now, it seems, we have a growing vogue of breakaway clients—former wirehouse investors who ditch their old advisors for new ones at independent RIAs or broker/dealers. ...

Fidelity Makes Trade Pricing Uniform For RIA And Retail Clients  

Feb 2, 2010,

By Kristen French

Fidelity announced the latest in a series of price cuts Tuesday. But the move has less to do with an ongoing price war between itself and Schwab than with the firm’s decision to eliminate discrepancies between pricing offered to its RIA clients and to its retail clients. ...

MSSB Plans to Double Size of U.S. Division For Ultra Wealthy 

Oct 22, 2009,

By Christina Mucciolo

Today Morgan Stanley Smith Barney announced the integration of Smith Barney’s Citi Family Office into its own ultra-high-net-worth division, which will now be called Morgan Stanley Private Wealth Management. Unlike the old family office, the newly combined unit will exclusively serve clients with a minimum of $20 million in assets. Morgan said it plans to add more advisors to PWM through a combination of “organic growth and selective acquisitions.” ...

Here's To Hoping Markets Drop 

Oct 1, 2009,

Christina Mucciolo

Puma's new index tracks the market in an unusual way...

Wealth Management's Uphill Slog 

Oct 1, 2009,

Christina Mucciolo

Revenues and profitability are declining, but clients want more and better service...

AGAINST THE ODDS 

Oct 1, 2009

Joseph Grano, Vietnam War Veteran, former Green Beret Special Forces officer and former CEO of UBS PaineWebber, is the consummate optimist. When his doctors...

NOT ALL FEES CREATED EQUAL 

Oct 1, 2009,

Christina Mucciolo

With asset-based fees providing less revenue, advisors are embracing a wider variety of pricing models these days. According to a Schwab presentation...

The Inner Game: Have You Got It? 

Oct 1, 2009,

By Matt Oechsli

Top advisors share a handful of qualities and best practices...

A Look Back, A Step Forward 

Sep 1, 2009,

By Dr. Alden Cass

The past 12 months have been an emotional roller coaster for most financial advisors. But optimism is creeping back. Now is the time to get back on track...

Endpiece: Recess Equals Success 

Sep 1, 2009,

By Eric Singer

How much money did your clients lose last year? As has been well documented, investors lost trillions of dollars in 2008. It didn't have to be this way...

Changing Affluent Norms 

Aug 1, 2009,

By Matt Oechsli

Suddenly, the affluent trust financial advisors. You need to be positioned to take advantage of that fact...

The C Client Time Suck  

Jul 1, 2009,

By Christina Mucciolo

After last year's market slump, clients need more attention than ever, but not all clients are worth it. Today, many advisors are reevaluating their books of business and letting go of “C” clients for the first time....

Staying Afloat 

Jul 1, 2009,

By Anne Field

Creative ways to bring in new business in a tough market...

Twittering To The Top 

Jul 1, 2009,

by Elaine Pofeldt

Social networking sites like LinkedIn, Facebook and Twitter can be great business builders for financial advisors. You just have to be smart about it....

Go Figure, HNW Clients Lost Trust and Money in 08: Wealth Report 

Jun 25, 2009,

By Christina Mucciolo

Not surprisingly, last year’s market took its toll on the wealthy, reducing assets, slimming their ranks and undercutting their trust in institutions associated with the market, according to the 14th annual Global Wealth Report, released this morning by Merrill Lynch Global Wealth Management and Capgemini. The report contains the results of a survey of clients, FAs and executives at 31 banks. ...

When Growth Is The Problem 

Jun 1, 2009,

By John Churchill

When the RVH Group’s growth became a burden, the leader of this Merrill team did Lynch team did something unique—he hired a full-time non-producing business manager. Years later, the wisdom of this approach has been borne out....

Fix My Business: Hiring Good Help 

Jun 1, 2009,

By Anne Field

One practice owner wants to hire junior advisors with an entrepreneurial spirit to bring in new business, but our experts say he’s looking for the impossible....

Faking It Versus Making It 

Jun 1, 2009,

By Matt Oechsli

Financial advisors are lacking professional pride in the current environment. But now is the wrong time to give up....

Big Brands Fall Out of Favor With Wealthy 

May 28, 2009,

By John Churchill

A survey released yesterday of the nation’s wealthiest individuals reveals that wealth management’s biggest, most powerful brands—including UBS, Wachovia, Bank of America and Goldman Sachs—have lost a lot of credibility with their target audience. ...

The Inner Game: Five Inconvenient Truths 

May 1, 2009,

By Matt Oechsli

New rules for a new world...

Making the Web Work 

May 1, 2009,

By Elaine Pofeldt

Having a website is a great way to win new business—and you don’t have to spend a fortune to do it right...

Bank of America Launches Client Referral Program 

Apr 15, 2009,

By Kristen French

Bank of America is in the process of rolling out a client referral program for its global wealth management division, which includes Merrill Lynch and the bank’s former Banking & Investments division (BAI), with a combined 18,000 financial advisors. BofA launched a pilot for the program in three states in early March, and will take the program national in the next 30 to 60 days. It is one of several referral programs the bank is putting together as part of its integration with Merrill Lynch, including one that would offer leads from the commercial banking division to certain Merrill Lynch advisors. ...

Trust is Sexy Again 

Apr 1, 2009,

By Anne Field

With the market and Wall Street’s reputations in tatters, clients are fleeing former high-flying financial powerhouses and flocking to banks and trusts - those boring firms of yesteryear...

Opportunity Knocks 

Mar 1, 2009,

By Anne Field

There are a lot of dissatisfied clients up for grabs in this market. You can make them yours if you are creative about it...

1 | 2 | 3 | 4 | 5 | 6 | Next

Current Issue

Registered Rep 

Cover

Nickels And Dimes

By John Aidan Byrne

Helping small savers plan their financial futures, without going broke.

Clients, The New Breakaways

First there was the breakaway broker. Now RIAs are grabbing another kind of breakaway, the disgruntled wirehouse client.

BOOKS

Cannon’s Concepts For Professionals: A Complete Library of Essential Financial Concepts

This reference book was updated for 2008 and now contains over 900 pages of information on essential financial concepts and wealth management strategies for your work with wealthy clients. The book not only contains brief summaries of each topic, but it also contains many useful diagrams and charts that can be used with clients when explaining difficult financial concepts. The information in this book meets current FINRA/NASD guidelines. Click here.

Back to Top